As the Law Unfolds

Episode 1: As the Law Unfolds DISCLAIMER: This podcast was provided for informational purposes only. No part of this shall warrant of legal, financial, or investment advice. Periscope | Video Cast | Anchor As this is our first episode, there are a few housekeeping items. For more information please read here. 

Overview. For more than 40 years the Securities and Exchange Commission (SEC) has used disgorgement as a key mechanism to gain compliance through enforcement actions. However, with a recent writ of certiorari in Lei v. SEC, this soon may change. [2] The main inspiration for this episode was from a Bloomberg Law article, INSIGHT: SEC’s Use of Disgorgement in Limbo as Supreme Court Ponders Issue, along with other sources. Each of the artifacts we mentioned throughout the podcast are footnoted below in ‘Resources Consulted.’ If we missed anything, please do not hesitate to let us know.

[1] https://biglawbusiness.com/insight-secs-use-of-disgorgement-in-limbo-as-supreme-court-ponders-issue

[2] Lei v. SEC https://www.sec.gov/litigation/admin/2019/34-87429.pdf

[3] Kokesh v. SEC https://www.supremecourt.gov/opinions/16pdf/16-529_i426.pdf

[4] see here - Blaw document with a very long link

[5] SEC 2019 Enforcement Report https://www.sec.gov/files/enforcement-annual-report-2019.pdf 

We have 9 more links, they can be found Here on our Medium Series.